HERRING RIA SUB, LLC
Adviser information for HERRING RIA SUB, LLC last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 11 |
|---|---|
| Investment Advisory/Research | 3 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 2 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 3,053 | $2.2M |
| Non-Discretionary | 0 | $0 |
| Total | 3,053 | $2.2M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 2,949 | $1.8M |
| HNW Individuals | 104 | $350,012 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | NO COMP. FOR IA SVCS; MEMBERSHIP FEE TO AFFILIATE |
Identifiers
| SEC RIA File Number | 801-122949 |
|---|---|
| SEC ERA File Number | 801-122949 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 314783 |
| Legal Entity Identifier | None |
Principal Office
ONE LETTERMAN DRIVEBUILDING C, SUITE 3500
SAN FRANCISCO
CA
United States
Monday - Friday, 8:00AM - 5:30PM
Tel: 415-805-2040, Fax: None
Chief Compliance Officer
THEODORE KATSOULIS
ONE LETTERMAN DRIVE
BUILDING C, SUITE 3500
SAN FRANCISCO
CA
United States
Tel:
415-805-2040
T***@****************M
(Full email address available in API data)
Regulatory Contact
DAVID HEGARTY
CHIEF EXECUTIVE OFFICER
ONE LETTERMAN DRIVE
BUILDING C, SUITE 3500
SAN FRANCISCO
CA
United States
Tel:
415-805-2040
H***@****************M
(Full email address available in API data)
Industry Affiliates
| None |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| F41 INVESTMENTS, LLC | Domestic Entity | HERRING LABS, INC. | MEMBER | 07/2020 | 25-50% |
| HERRING LABS, INC. | Domestic Entity | – | MEMBER | 04/2021 | > 75% |
| Katsoulis, Theodore, Nicholas | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2021 | < 5% |
| Hegarty, David, John | Individual | – | CHIEF EXECUTIVE OFFICER | 04/2021 | < 5% |
| CHIB HEGARTY REVOCABLE TRUST | Domestic Entity | HERRING LABS, INC. | MEMBER | 07/2020 | 25-50% |
| Hegarty, David, John | Individual | CHIB HEGARTY REVOCABLE TRUST | TRUSTEE | 08/2019 | |
| Hegarty, Sandhya, Chib | Individual | CHIB HEGARTY REVOCABLE TRUST | TRUSTEE | 08/2019 | |
| ABRAHAM, JACK, PHILLIP | Individual | F41 INVESTMENTS, LLC | MEMBER | 05/2013 | > 75% |